Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Michael Phillips is an investment advisor representative with LPL Financial LLC, a registered investment advisor. He is based in Middletown, OH and has been in the industry for over 25 years. Thomas Michael Phillips is a licensed and registered professional with experience in various financial services areas.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
OH
05/10/2021 - Present
LPL Financial LLC (MIDDLETOWN OH)
OH
05/30/2008 - 05/10/2021
FIRST ALLIED SECURITIES, INC. (FRANKLIN OH)
OH
06/15/2005 - 05/30/2008
FFP SECURITIES, INC. (FRANKLIN OH)
OH
03/22/2001 - 12/31/2004
SICOR SECURITIES INC (DAYTON OH)
OH
10/18/2000 - 03/29/2001
WESTMINSTER FINANCIAL SECURITIES, INC. (BEAVERCREEK OH)
OH
10/14/1998 - 09/25/2000
A. CH. SECURITIES, INC. (DAYTON OH)
OH
02/12/1997 - 07/01/1998
MFI INVESTMENTS CORP. (BRYAN OH)
NY
09/27/1995 - 04/10/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 07/16/2013
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/24/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/24/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/11/2002
Series 27 - Financial and Operations Principal Examination
BC
Issued 05/03/1999
Series 4 - Registered Options Principal Examination
BC
Issued 03/04/1999
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/15/1997
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 09/26/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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